Click a link below to view the mailing archive as if it had been sent to you. . 2012-08-31 13:00 Jim Hamilton's World of Securities Regulation - Sen. Levin Urges SEC to Enhance Investor Protections in Proposed Rules Implementing JOBS Act Ending of ...
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Jim Hamiltons World of Securities Regulation Archive for August, 2012

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2012-08-31 13:00Jim Hamilton's World of Securities Regulation - Sen. Levin Urges SEC to Enhance Investor Protections in Proposed Rules Implementing JOBS Act Ending of General Solicitation
2012-08-31 09:00Jim Hamilton's World of Securities Regulation - Delaware Arbitration of Corporate Disputes Must Be Open to the Public Rules Federal Judge
2012-08-30 14:00Jim Hamilton's World of Securities Regulation - Federal Court Applies Delaware Law to Dismiss Shareholder Proxy Claim that Executive Pay Plans Not 162(m) Deductible
2012-08-30 09:00Jim Hamilton's World of Securities Regulation - European Commission Troubled by CFTC Proposed Guidance on Cross-Border Application of Dodd-Frank Derivatives Regulations
2012-08-29 12:30Jim Hamilton's World of Securities Regulation - SEC Chair Reconciles Quiet Period Rules with Supreme Court First Amendment Decision in Response to House Oversight Chair
2012-08-29 11:30Jim Hamilton's World of Securities Regulation - 2 new articles
2012-08-28 15:00Jim Hamilton's World of Securities Regulation - California Adopts Permanent Private Fund Adviser Exemption
2012-08-28 11:30Jim Hamilton's World of Securities Regulation - Delaware Supreme Court Upholds Chancery Ruling that Board Special Committee Breached Duty of Loyalty in Deal with Controlling Shareholder
2012-08-27 20:00Jim Hamilton's World of Securities Regulation - SEC Chair Schapiro Responds to House Oversight Chair Issa's Questions on Reforming IPO Regulatory Regime
2012-08-27 12:00Jim Hamilton's World of Securities Regulation - Securities Act Class Claims Removable to Federal Court
2012-08-27 11:00Jim Hamilton's World of Securities Regulation - Division of Trading and Markets Issues New JOBS Act Guidance
2012-08-27 09:30Jim Hamilton's World of Securities Regulation - Global Audit Firms Comment on ESMA Consultation on Materiality in Financial Reporting
2012-08-26 15:00Jim Hamilton's World of Securities Regulation - DOL Revises Bulletin on Plan Fiduciaries that Troubled Securities Industry and Senator Kerry
2012-08-24 15:00Jim Hamilton's World of Securities Regulation - Delaware Chancery Court Rejects Application of Revlon and Entire Fairness Doctrines to Merger Transaction Involving Controlling Shareholder
2012-08-24 12:00Jim Hamilton's World of Securities Regulation - Federal Court Authorizes Fair Fund Distribution in SEC Enforcement Action
2012-08-24 10:30Jim Hamilton's World of Securities Regulation - Commissioner Aguilar Responds to Chairman's Statement on Money Market Fund Reform
2012-08-23 17:00Jim Hamilton's World of Securities Regulation - 2 new articles
2012-08-22 13:00Jim Hamilton's World of Securities Regulation - SEC Adopt Regulations Implementing Dodd-Frank Resource Extraction Company Payment Disclosure Provisions
2012-08-22 12:30Jim Hamilton's World of Securities Regulation - SEC Adopt Regulations Implementing Dodd-Frank Resource Extraction Company Payment Disclosure Provisions
2012-08-22 10:30Jim Hamilton's World of Securities Regulation - SEC Implements Dodd-Frank Conflict Minerals Provision with Specialized Disclosure Requirements and Due Diligence Measures
2012-08-21 16:00Jim Hamilton's World of Securities Regulation - SEC Reschedules Open Meeting on JOBS Act Title II
2012-08-21 15:00Jim Hamilton's World of Securities Regulation - UK Will Reform Libor or Replace It with Alternative Benchmark After Review by FSA Managing Director Martin Wheatley
2012-08-21 13:30Jim Hamilton's World of Securities Regulation - SEC to Give First Dodd-Frank Whistleblower Award
2012-08-20 20:00Jim Hamilton's World of Securities Regulation - House Oversight Chair Says SEC Delaying Implementation of JOBS Act Elimination of Ban on General Solicitation; Sets September Hearing
2012-08-20 13:30Jim Hamilton's World of Securities Regulation - Law Professors File Brief Supporting District Judge in SEC Citigroup Enforcement Action
2012-08-19 15:00Jim Hamilton's World of Securities Regulation - German Federal Financial Regulator Will Soon Unveil Enhanced Risk Management Framework
2012-08-19 13:00Jim Hamilton's World of Securities Regulation - Japanese Financial and Banking Regulators Ask CFTC to Broaden Scope of Substituted Compliance Doctrine for Cross-Border Derivatives Regulation
2012-08-18 13:30Jim Hamilton's World of Securities Regulation - UK Government Proposes Binding Shareholder Vote on Executive Pay as Part of Broad Reform of Executive Compensation Reporting
2012-08-17 19:30Jim Hamilton's World of Securities Regulation - Federal Courts Hold that Negative Shareholder Say-on-Pay Votes Did Not Negate Business Judgment Rule Presumption
2012-08-17 15:30Jim Hamilton's World of Securities Regulation - Sen. Brown of Ohio Urges SEC and Fed to Timely Adopt Enhanced Incentive Compensation Regulations under Dodd-Frank
2012-08-17 11:30Jim Hamilton's World of Securities Regulation - State Securities Administrators Urge SEC to Employ Standard Rulemaking Process in Implementing JOBS Act Regulation D Changes
2012-08-16 19:00Jim Hamilton's World of Securities Regulation - Former SEC Commissioner, Chief Accountants and Consumer Groups Urge SEC Not to Rush JOBS Act General Solicitation Rulemaking
2012-08-16 15:00Jim Hamilton's World of Securities Regulation - Oracle Pays $2 Million to Settle FCPA Charges
2012-08-16 12:30Jim Hamilton's World of Securities Regulation - Former Deloitte Partner on Outside Audit Engagements Pleads Guilty to Insider Trading Involving Firm's Client Companies
2012-08-15 18:30Jim Hamilton's World of Securities Regulation - Ahead of Aug. 22 Open Meeting, Congressional Steel Caucus Asks SEC to Exempt Scrap Steel from Dodd-Frank Conflict Minerals Regulations
2012-08-15 14:00Jim Hamilton's World of Securities Regulation - PCAOB Adopts Standard on Audit Committee Communication with Auditors, Recommends to SEC that Standard Apply to Emerging Growth Companies
2012-08-14 18:30Jim Hamilton's World of Securities Regulation - Citing Legislative Intent, US Senators Urge SEC to Adopt Reasonable Rules Implementing JOBS Act Elimination of General Solicitation Ban under Regulation D
2012-08-14 13:00Jim Hamilton's World of Securities Regulation - 2nd Circuit: Absence of "Fraud on the Market" Presumption Did Not Preclude Class Certification for Settlement Purposes
2012-08-14 12:30Jim Hamilton's World of Securities Regulation - Federal Judge Allows SEC Action against Fannie Mae Senior Officers to Proceed; Second Circuit Substantial Assistance Standard Used
2012-08-13 18:30Jim Hamilton's World of Securities Regulation - Leading European MP Urges SEC to Adopt Tough Regulations on Reporting by Resource Extraction Companies
2012-08-13 14:30Jim Hamilton's World of Securities Regulation - ISDA Questions Efficacy of CFTC's Substituted Compliance Process in Proposed Guidance on Cross-Border Application of Dodd-Frank OTC Derivatives Regulation
2012-08-13 13:30Jim Hamilton's World of Securities Regulation - IOSCO Recommends Int'l Standards for Regulation of Derivatives Market Intermediaries
2012-08-13 12:30Jim Hamilton's World of Securities Regulation - SEC Senior Official Outlines Workings of Whistleblower Program
2012-08-12 14:00Jim Hamilton's World of Securities Regulation - Global Hedge Fund Assoc. Comments on ESMA Draft Standards Implementing OTC Derivatives Regulation
2012-08-11 13:00Jim Hamilton's World of Securities Regulation - US Hedge Fund Industry Comments on ESMA Proposed Standards Implementing EU Derivatives Regulation
2012-08-10 18:00Jim Hamilton's World of Securities Regulation - CFO Settles SEC Action Alleging Misleading of Independent Auditors as Part of Fraudulent Earnings Scheme
2012-08-10 17:00Jim Hamilton's World of Securities Regulation - IASB Chair Confident US Will Embrace IFRS as Convergence Nears Conclusion
2012-08-10 11:30Jim Hamilton's World of Securities Regulation - Securities Industry and Senator Kerry Have Concerns with DOL Bulletin on Plan Fiduciaries
2012-08-09 19:00Jim Hamilton's World of Securities Regulation - European Commission Consults on Cross-Border Taxation of Venture Capital Funds
2012-08-09 15:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Supports IOSCO Liquidity Risk Management Principles, While Urging Changes
2012-08-09 14:30Jim Hamilton's World of Securities Regulation - Pharmaceutical Companies Settle FCPA Charges
2012-08-09 14:00Jim Hamilton's World of Securities Regulation - Company Directors Have No Independent Fiduciary Duty to Minimize Taxes Rules Delaware Chancery, Structuring Executive Bonus under IRS Revenue Ruling Not Waste
2012-08-08 19:30Jim Hamilton's World of Securities Regulation - US Senators Urge Fed to Scale Capital Requirements under Dodd-Frank to Systemic Risk Posed by Financial Institution
2012-08-08 17:00Jim Hamilton's World of Securities Regulation - Delaware Chancery Says No Demand Futility Because of Alleged Breach of Duty of Care to Have CEO Succession Plan
2012-08-08 13:00Jim Hamilton's World of Securities Regulation - 2nd Circuit Defines Aiding and Abetting "Substantial Assistance" Standard
2012-08-08 08:30Jim Hamilton's World of Securities Regulation - Chairman Bachus Seeks Alternative to Proposed Regulations Implementing Dodd-Frank Volcker Rule
2012-08-07 13:30Jim Hamilton's World of Securities Regulation - Delaware Supreme Court Upholds Chancery's Finding of Breach of Confidentiality Agreements and Enjoining Acquiring Company from Making Tender Offer
2012-08-06 21:00Jim Hamilton's World of Securities Regulation - US Senators Urge CFPB to Adopt Safe Harbor in Broad Qualified Mortgage Definition
2012-08-06 18:00Jim Hamilton's World of Securities Regulation - US Senators Urge CFPB to Adopt Safe Harbor in Broad Qualified Mortgage Definition
2012-08-06 13:30Jim Hamilton's World of Securities Regulation - Treasury Official Assures Senator Grassley on Coordination with SEC and DOJ on IRS Whistleblower Regulations
2012-08-06 12:00Jim Hamilton's World of Securities Regulation - Price Recovery Did Not Negate Inference of Economic Loss
2012-08-05 14:00Jim Hamilton's World of Securities Regulation - Fed Gov. Raskin Says Too Broad Market-Making and Hedging Exemptions Prompted Her Dissent from Proposed Volcker Regulations
2012-08-04 12:30Jim Hamilton's World of Securities Regulation - Japanese Financial Services Agency Orders Internal Control Remediation after Findings of Insider Trading at Global Investment Firm
2012-08-03 19:00Jim Hamilton's World of Securities Regulation - Chairman Bachus Asks Fed to Extend Comment Period on Proposed Basel III Regulations
2012-08-03 12:30Jim Hamilton's World of Securities Regulation - House-Senate Legislation Would Deprive FSOC of the Authority to Designate Hedge Funds and Other Non-Bank Financial Institutions as Systemically Important
2012-08-03 12:00Jim Hamilton's World of Securities Regulation - Bi-Partisan Senate Legislation Would Require SEC and Other Independent Agencies to Conduct Cost-Benefit Analysis of Regulations
2012-08-02 21:00Jim Hamilton's World of Securities Regulation - Senate Hearings Highlight Need for Additional Reform of Tri-Party Repo Market
2012-08-02 13:30Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Raising Accelerated Filer Public Float Trigger and Adding Revenue Component
2012-08-02 11:30Jim Hamilton's World of Securities Regulation - Bi-Partisan Senate Legislation Would Codify Derivatives End User Exemption
2012-08-01 20:00Jim Hamilton's World of Securities Regulation - Chairman Bachus to Hold Hearings on SEC Request for Legislation to Enhance Transparency in Municipal Securities Market
2012-08-01 19:00Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Clarifying that Banks Are Excluded from Dodd-Frank Municipal Advisor Registration
2012-08-01 13:30Jim Hamilton's World of Securities Regulation - NY Fed Asks Securities Firms to Reduce Reliance on Short-Term Tri-Party Repo Market as Systemic Concerns Grow

 

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